DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C••••••••• C•••••• M••••••••• L••
Latest filing Apr 28, 2026
First filing on the tape Mar 29, 2012 · 21 filings
SEC status approved since Apr 17, 2006
RAUM
$233M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$233M as of Apr 28, 2026
Mar 29, 2012$124M then
HNW client RAUM$0 as of Apr 28, 2026
Mar 16, 2018$23.4M then
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 25, 20130 then
Employees (5.A)5 as of Apr 28, 2026
Mar 25, 20134 then
Private funds3 as of Apr 28, 2026
Mar 29, 20122 then
RAUM +5.4% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $0derivedHNW RAUM over HNW clients
- Average account
- $46.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $18.8M, 2 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$233M100%
- Individual clients
- n/areported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.8M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C• S•••••• S•••••••• F••• I• L• | Hedge Fund | $78.1M | 60 | Mar 29, 2012 |
| C• S•••••• S•••••••• F••• I•• L•no longer reported | Hedge Fund | $5.9M | 20 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• R•••••• T••••• · Managercontrolsince 03/2006 · owns less than 5%
- C••••• R•••• R•••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- C••••••••• R•••••• T••••• · Membercontrolsince 03/2006 · owns 25% to 50% of K••••••••• O••• L••
- C••••••••• T•• T••••• · Trusteecontrolsince 04/2006 · owns F of R••••• T• C••••••••• I••••••••• T•••• D•••• A•••• 7• 2•••
Entity owners
- C• M••••••• L•• · Memberdirect · owns 75% or more
- C• F••••••• L•• · Managing Memberindirect · owns 75% or more of C• M••••••• L••
- K••••••••• O••• L•• · Managerindirect · owns 50% to 75% of C• F••••••• L••
- R••••• T• C••••••••• I••••••••• T•••• D•••• A•••• 7• 2••• · Memberindirect · owns 25% to 50% of K••••••••• O••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 8 to 5Mar 4, 2025 to Mar 20, 2026
- HNW clients · 29 to 28Mar 4, 2025 to Mar 20, 2026
- Pooled vehicle clients · 7 to 5Mar 4, 2025 to Mar 20, 2026
- Assets in custody · $0 to $18.8MMar 4, 2025 to Mar 20, 2026
- Private funds · 1 to 3Mar 4, 2025 to Mar 20, 2026
- Discretionary RAUM · $221M to $233MMar 4, 2025 to Mar 20, 2026
- HNW RAUM · $22.6M to $0Mar 4, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $199M to $233MMar 4, 2025 to Mar 20, 2026
- RAUM · $221M to $233MMar 4, 2025 to Mar 20, 2026
- Advisory activities · 2 to 3Mar 6, 2024 to Mar 4, 2025
- Corporate clients · unset to 12.0Mar 6, 2024 to Mar 4, 2025
- HNW clients · unset to 29.0Mar 6, 2024 to Mar 4, 2025
- Pooled vehicle clients · 3 to 7Mar 6, 2024 to Mar 4, 2025
- Financial planning clients · unset to Mar 6, 2024 to Mar 4, 2025
- Discretionary RAUM · $145M to $221MMar 6, 2024 to Mar 4, 2025
- HNW RAUM · $19.1M to $22.6MMar 6, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $125M to $199MMar 6, 2024 to Mar 4, 2025
- RAUM · $145M to $221MMar 6, 2024 to Mar 4, 2025
- Discretionary RAUM · $114M to $145MJul 10, 2023 to Mar 6, 2024
- HNW RAUM · $19.4M to $19.1MJul 10, 2023 to Mar 6, 2024
- Pooled vehicle RAUM · $94.5M to $125MJul 10, 2023 to Mar 6, 2024
- RAUM · $114M to $145MJul 10, 2023 to Mar 6, 2024
- Discretionary RAUM · $116M to $114MFeb 28, 2022 to Mar 3, 2023
- HNW RAUM · $21.7M to $19.4MFeb 28, 2022 to Mar 3, 2023
- Pooled vehicle RAUM · $94.4M to $94.5MFeb 28, 2022 to Mar 3, 2023
- RAUM · $116M to $114MFeb 28, 2022 to Mar 3, 2023
- Accounts · 4 to 8Oct 8, 2021 to Feb 28, 2022
- Discretionary RAUM · $120M to $116MOct 8, 2021 to Feb 28, 2022
- HNW RAUM · $24.2M to $21.7MOct 8, 2021 to Feb 28, 2022
- Pooled vehicle RAUM · $95.5M to $94.4MOct 8, 2021 to Feb 28, 2022
- RAUM · $120M to $116MOct 8, 2021 to Feb 28, 2022
- Related adviser · true to falseMar 17, 2021 to Oct 8, 2021
- Accounts · 7 to 4Mar 27, 2020 to Mar 17, 2021
- Pooled vehicle clients · 2 to 3Mar 27, 2020 to Mar 17, 2021
- Private funds · 2 to 1Mar 27, 2020 to Mar 17, 2021
- Discretionary RAUM · $101M to $120MMar 27, 2020 to Mar 17, 2021
- HNW RAUM · $26.8M to $24.2MMar 27, 2020 to Mar 17, 2021
- Pooled vehicle RAUM · $74.3M to $95.5MMar 27, 2020 to Mar 17, 2021
- RAUM · $101M to $120MMar 27, 2020 to Mar 17, 2021
- Accounts · 3 to 7Mar 18, 2019 to Mar 27, 2020
Signals
1 dated events
- Richard Ryan Crane (Chief Compliance Officer) appeared on Schedule A of C••••••••• C•••••• M••••••••• L••Jul 10, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 216-539-1181reportedpublic record, Form ADV, Apr 28, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026